Filing Details

Accession Number:
0000899243-17-013369
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-05-16 17:29:18
Reporting Period:
2017-05-12
Filing Date:
2017-05-16
Accepted Time:
2017-05-16 17:29:18
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1082506 Great Elm Capital Group Inc. GEC Services-Prepackaged Software (7372) 943219054
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1429074 Mast Capital Management, Llc 200 Clarendon Street
51St Floor
Boston MA 02116
No No Yes No
1429076 J. David Steinberg 200 Clarendon Street
51St Floor
Boston MA 02116
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2017-05-12 1,136,792 $3.35 971,386 No 4 S Indirect See footnotes
Common Stock Disposition 2017-05-12 482,900 $3.30 488,486 No 4 S Indirect See footnotes
Common Stock Disposition 2017-05-12 488,486 $3.30 0 No 4 S Indirect See footnotes
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See footnotes
No 4 S Indirect See footnotes
No 4 S Indirect See footnotes
Footnotes
  1. Represents shares of Common Stock, $0.001 Par Value (the "Common Stock"), of Great Elm Capital Group, Inc., a Delaware corporation (f/k/a Unwired Planet, Inc.), held directly by Mast OC I Master Fund L.P. (the "MAST Account"), a private investment fund of which MAST Capital Management, LLC ("MAST Capital") is the investment manager.
  2. As the investment advisor of the MAST Account, MAST Capital may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Account. MAST Capital also has the right to an asset-based fee relating to the MAST Account. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein.
  3. Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein.